Creating a Records Policy and Schedule in a Legal Environment Presentation Title Creating a Records Policy and Schedule in a Legal Environment Doug Rollo Asst. Director of Records Management

Why Records and storage costs Out of space Where are the records Do the records exist Reduces risk Reduces waste and duplication

New Business Needs Malpractice insurance Client demands Protects assets

Research Lexis/Westlaw ABA publications and website State/local bar publications and web sites Internet Law libraries Firm interviews Interviewed other firms

Bar Sites Stats 51 Bar sites reviewed 5 has in-depth information 6 had articles on records retention 18 had minimal information 22 had no mention of records retention 9/12/2018

Michigan Bar www.michbar.org R-5 Duty to establish retention plan R-12 Notice to clients RI-86 Availability of records to clients

Michigan Bar (cont.) RI-100 Retirement RI-109 Damage to records RI-178 Lawyer referral services RI-240 Disposition of older records

Other Good Bar Sites Alabama – www.alabar.org Connecticut – www.ctbar.org Florida – www.flabar.org

Bar Sites Quotes Although the guidelines establish standards of practice, the bar association articulated that such guidelines are not a safe harbor for the retention of client files.

Another Bar Quote It is not possible to state a definite time as to when a closed file may be destroyed. The retention is a matter of good judgment.

One More Bar Quote A client’s files [should] be preserved for a reasonable time before they can be destroyed

Last Bar Site Quote Opinion 20000082 suggests that an attorney should express to the client that the file will be held for a reasonable period of time (usually several years). 9/12/2018

The Basics Records retention policy Records retention schedule Records Records series 9/12/2018

Retention Policy Policy Provisions Schedules Procedures Client Records vs. Firm Records vs. Admin. Paper vs. E Records Provisions Schedules Procedures 9/12/2018

Provisions Definitions Client Disclosure Client Notifications Minors Automatic Review 9/12/2018

More Provisions Review Disposition Delays Transfer of Records Permanent Records 9/12/2018

More Writing Client Involvement Consistency No Response from the Attorney Attorneys no Longer With the Firm Can’t find the Client 9/12/2018

And More Writing Whose call is it Do all files need to be kept the same amount of time Firm Culture Acceptance Updates 9/12/2018

DSBA Guidance Records Retention Committee Policy vs. Mandate vs. Rule vs. Guideline vs. Principle 10 Year Rule Delaware Supreme Court 9/12/2018

Revisions Patience More Patience And Even More Patience 9/12/2018

Retention Schedule Dates to Consider Review functions and recordkeeping requirements practices Collect the information Review and Analyze 9/12/2018

More Things to Do Evaluate for disposition the records contained in each series by determining their uses and values Research Draft retention schedule 9/12/2018

Approval Section Leaders Specific Attorneys Management Committee 9/12/2018

Publish Policy & Schedule Policy book Internal web page Firm website 9/12/2018

Implementation Goals Procedures Quick Action 9/12/2018

Results Destroyed over 1700 boxes Disposed over of 9000 client files Inventoried all the semi-active records Inventoried all active records New software 9/12/2018

Questions Questions? Questions? Questions? Questions? Questions? 9/12/2018

Asst. Director of Records Management Contact Info. Doug Rollo Asst. Director of Records Management 404.756.4866 doug.rollo@usg.edu 9/12/2018